In its biennial report on examinations of state-registered investment advisers, the North American Securities Administrators Association highlighted that most investment advisers lack policies and procedures regarding the financial exploitation of seniors or other vulnerable investors.
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The North American Securities Administrators Association highlighted its major regulatory undertakings during 2020 and outlined challenges faced by the investment adviser industry and state securities regulators as a result of the pandemic.
The Financial Stability Board reported on the risks and opportunities created by the use of supervisory and regulatory technology.
In its Annual Report on regulatory compliance by state-registered investment advisers, the North American Securities Administrators Association found that cybersecurity deficiencies are on the rise.
The North American Securities Administrators Association reported examination findings for state-registered investment advisers, highlighting the rising rate of cybersecurity deficiencies.